SEC Form 4 · accession 0001437749-18-000443
GIGA TRONICS INC · GIGA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lutz P Henckels
Director
Period of report
Jan 2, 2018
Accepted (ET)
Jan 9, 2018 · 12:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000719274
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| RSUsF1,F4,F2,F3 | — | Jan 2, 2018 | A | 75,000 | A | — | — | Common Stock | 75,000 | 75,000 | D |
Explanation of responses
- F1Each RSU represents a contingent right to receive one share of Giga-tronics' common stock.
- F2The reporting person received RSUs for certain consulting services. The RSUs is subject to a monthly vesting over 12 months.
- F3Not applicable.
- F4Reported ownership excludes shares of preferred stock and common stock owned by Alara Capital AVI II as to which the reporting person disclaims beneficial ownership.